Capital One (COF) officer sells 3,163 shares under 10b5-1 plan

Q: What insider transaction was reported for CAPITAL ONE FINANCIAL CORP (COF)?

An officer of Capital One Financial Corp. reported selling 3,163 shares of common stock on 01/02/2026 in a sale coded "S".

Q: What is the insider’s role at CAPITAL ONE FINANCIAL CORP (COF)?

The reporting person is an officer of Capital One, with the title President, Banking & Premium Products .

Q: Is this COF Form 4 filed by one or multiple reporting persons?

The report indicates that the form was filed by one reporting person , not a group.

Filing Impact

(Very High)

Filing Sentiment

(Negative)

Form Type

Rhea-AI Filing Summary

Capital One Financial Corp. officer and President of Banking & Premium Products reported an insider stock sale. On 01/02/2026, the insider sold 3,163 shares of Capital One common stock at a price of $244.35 per share in a transaction coded "S" for sale. After this transaction, the insider directly owned 66,692 shares of Capital One common stock. The filing notes that this sale was executed under a pre-arranged trading plan entered into on August 14, 2025 in accordance with Rule 10b5-1.

Insider Trade Summary

Net Seller: 3,163 shares

Net Sell 1 txn

Insider Dean Lia

Role Pres, Banking & Prem. Products

Sold 3,163 shs ($773K)

Type	Security	Shares	Price	Value
Sale	Common Stock	3,163	$244.35	$773K

Holdings After Transaction: Common Stock — 66,692 shares (Direct)

Footnotes (1)

F1. This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2025, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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Form 4 Insider Transactions: What Each Field Means →

Accepted by SEC EDGAR 01/06/2026 - 04:57 PM

FAQ

What insider transaction was reported for CAPITAL ONE FINANCIAL CORP (COF)?

An officer of Capital One Financial Corp. reported selling 3,163 shares of common stock on 01/02/2026 in a sale coded "S".

At what price were COF shares sold in this insider transaction?

The reported sale of Capital One common stock was executed at a price of $244.35 per share.

How many COF shares does the insider own after this reported sale?

Following the reported transaction, the insider directly owned 66,692 shares of Capital One common stock.

What is the insider’s role at CAPITAL ONE FINANCIAL CORP (COF)?

The reporting person is an officer of Capital One, with the title President, Banking & Premium Products.

Was the COF insider sale made under a Rule 10b5-1 trading plan?

Yes. The filing states the transaction was executed under a trading plan entered into on August 14, 2025 in accordance with Rule 10b5-1.

Is this COF Form 4 filed by one or multiple reporting persons?

The report indicates that the form was filed by one reporting person, not a group.

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Dean Lia

(Last)

(First)

(Middle)

1680 CAPITAL ONE DRIVE

(Street)

MCLEAN

22102

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
CAPITAL ONE FINANCIAL CORP [ COF ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Pres, Banking & Prem. Products

3. Date of Earliest Transaction (Month/Day/Year)
01/02/2026

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock⁽¹⁾	01/02/2026		S		3,163	D	$244.35	66,692	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2025, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Remarks:

	/s/ Blaise F. Brennan (POA on file)	01/05/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR